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Getting a firm handle on emotional intelligence
To a man and woman, the 1,300 advisers attending the TD Ameritrade conference in Orlando, Fla., last week…
Don’t change rules because of deadbeat brokers
While brokerage firms have every right to expect former brokers to honor the agreements they make when accepting recruiting and retention bonuses, Finra should resist pressure to rewrite its rules to make it easier for firms to collect unreturned bonuses.
Price tag for franchises at Schwab revealed
Financial details of Charles Schwab & Co. Inc.'s branch-franchising program have been revealed, and the early reviews as to how franchisees will fare are mixed
Startup costs for Schwab franchises revealed
Although Charles Schwab has been readying its branch-franchising program for some time, few specifics have been released. But documents obtained by InvestmentNews reveal the estimated startup costs, along with Schwab's expected take.
Retirement plan brokers outsource fiduciary duties
As the Labor Department and lobbyists wrangle over who can provide advice to retirement plan participants, the marketplace has come up with an increasingly popular solution that satisfies current and potential requirements.
Mayor of N.Y. Giants’ hometown rooting against the team
James Cassella, mayor of East Rutherford, N.J., the town where New York Giants play their home games, wants the team to beat the San Francisco 49ers Sunday, but lose a fight against paying property taxes on their headquarters and training center.
Maryland, California governors seek boost in taxes on wealthy
States join federal government in looking to affluent to help trim budget shortfalls
NFL QB-turned-adviser recalls infamous ESPN beat-down
With the resignation of ESPN’s Jim Rome last week, sports blog Deadspin got in touch with former NFL…
INsider: Wealthy clients have targets on their backs
The presidential campaign has failed to offer definitive answers about tax reform, but you can see where it's headed
Former E*Trade CEO leads management buyout of Jefferson
Jefferson National, creator of the flat-fee variable annuity, hopes to step up its distribution among fee-based advisers following…
Mitt Romney’s income no ordinary income
Candidate's earnings taxed as carried interest; 'ordinary people wouldn't be able to do this'
Americans welcome back leverage when credit is cheap enough
Americans are back in the borrowing mood, and even the wealthy are getting in on it when the credit is cheap enough, according to advisers.
Most advisers overstating their expertise: Cerulli study
A survey of more than 1,500 financial intermediaries over the past year found "pattern of misrepresentation"
Romney’s tax revelation draws plenty of fire
Ex-govenor's 15% effective rate criticized by opponents; Gingrich paid twice that
HighTower scores $1B adviser
HighTower Advisors has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put.
HighTower stakes its claim to Palm Desert wealthy
With its second lift-out this year of a team of high-end financial advisers in Palm Desert, Calif., HighTower Advisors has staked a claim to one of the wealthier retirement areas in the country
Massachusetts lays out social media do’s, don’ts
Massachusetts securities regulators last week outlined social-media guidelines for its 576 registered investment advisers, stressing record keeping, monitoring…
Safety first, as advisers piled into fixed-income ETFs in ’11
Slowly but surely, advisers are becoming more comfortable with exchange-traded funds. Not surprisingly, Charles Schwab says fixed-income ETFs were the clear favorites of RIAs in 2011.
IRS audits of millionaires at all-time high of 12.5%
The U.S. Internal Revenue Service said it audited 12.48% of individual tax returns with income exceeding $1 million during 2011, an all-time high.
A call for responsible social-media usage
BE WARNED: FINRA’S RECENT capitulation over proposed reporting requirements for social-media postings shouldn’t be interpreted as a sign…
